Department of Veterans Affairs M21-1, Part III, Subpart iiVeterans Benefits Administration November 10, 2015Washington, DC 20420

Key ChangeChanges Included in This Revision

The table below describes the changes included in this revision of Veterans Benefits Manual M21-1, Part III, “General Claims Process”, Subpart ii, “Initial Screening and Determining Veteran Status”.

Notes: The term “regional office” (RO) also includes pension management center

(PMC), where appropriate. Unless otherwise noted, the term “claims folder” refers to the official,

numbered, Department of Veterans Affairs (VA) repository – whether paper or electronic – for all documentation relating to claims that a Veteran and/or his/her survivors file with VA.

Minor editorial changes have been made to bring the document into conformance with M21-1 standards.

Reason(s) for the Change Citation

To update the note to reflect that, as of October 19, 2015, a Control of Veterans Records System (COVERS) transfer will no longer update the pending issue in the Veterans Service Network (VETSNET) and the Veterans Benefits Management System (VBMS).

M21-1, Part III, Subpart ii, Chapter 5, Section E, Topic 1, Block c(III.ii.5.E.1.c)

To add instruction to create a “Physical Claims File Requested” tracked item in VBMS, when requesting permanent transfer-in of paper claim folders from other regional offices (ROs), or the Records Management Center (RMC).

III.ii.5.E.2.c

To add a Step 3 to create a “Physical Claims File Requested” tracked item in VBMS when recalling paper claims folders retired to the VA Record Center and Vault (RC&V).

III.ii.5.E.3.b

To add instruction to create a “Physical Claims File Requested” tracked item in VBMS when recalling paper claims folders retired to a Federal Records Centers (FRCs).

III.ii.5.E.3.c

To add a note indicating that the “Physical Claims File Requested” tracked item must be updated when a follow-up request for the claims folder is made from an FRC.

III.ii.5.E.3.d

To add instruction to close the “Physical Claims File Requested” tracked item upon receipt of the paper claims folder.

III.ii.5.E.4.c

Rescissions None

Authority By Direction of the Under Secretary for Benefits

Signature

Thomas J. Murphy, DirectorCompensation Service

Distribution LOCAL REPRODUCTION AUTHORIZED

Section E. Permanent Transfer-Out or Transfer-In of Paper Claims Folders

Overview

In This Section This section contains the following topics:

Topic Topic Name1 (old

18)Requests for Permanent Transfer-Out of Paper Claims Folders

2 (old 19)

General Policies for Permanent Transfer-In of Paper Claims Folders

3 (old 20)

Transfer Requests for Paper Claims Folders From a Federal Records Center (FRC)

4 (old 21)

Receipt of Requested Paper Claims Folders

5 (old 22)

Unsolicited Transfers of Paper Claims Folders and Dual Benefit Cases

1. Requests for Permanent Transfer-Out of Paper Claims Folders

Introduction This section contains information on requests for the permanent transfer-out of paper claims folders, including

requesting permanent transfer-out of paper claims folders using the Control of Veterans Records System (COVERS)

procedure for handling permanent transfer-out requests for paper claims folders

paper claims folders containing unanswered correspondence or pending issues, and

handling charge cards following permanent transfer-out of paper claims folders.

Change Date June 23, 2015November 10, 2015

a. Requesting Permanent Transfer-Out of Paper Claims Folders Using COVERS

Requests for the permanent transfer-out of paper claims folders may be made through the Control of Veterans Records System (COVERS).

Reference: For further information on the use of COVERS, see the COVERS User Guide.

b. Procedure for Handling Permanent Transfer-Out Requests for Paper Claims Folders

Follow the steps in the table below to handle a request for the permanent transfer-out of a paper claims folder.

Step Action1 Pull the folder.2 Review the folder for

unanswered correspondence, or pending issues.

3 Is there unanswered correspondence or a pending issue?

If yes- review the file, and- follow the procedure outlined in M21-1, Part III, Subpart ii,

5.E.1.c. If no, transfer the file immediately following sSteps 4 and 5.

4 Staple a copy of the COVERS transfer slip to the front of the folder, and

highlight the claim number and destination of the folder.5 Update the charge card.

Note: If other files are being transferred with the claims folder, place a copy of the COVERS transfer slip in these files.

c. Paper Claims Folders Containing Unanswered Correspondence or Pending Issues

Follow the steps in the table below to handle a paper claims folder with

unanswered correspondence, or a pending issue.

Step Action1 If possible

answer any unanswered correspondence, or process any pending claim.

2 If it is not possible to resolve the pending claim because of pending development or other unavoidable delay, then

allow the end product (EP) control for the pending issue to continue, and

reverse file any pending mail in the middle section of the claims folder.

Note: When As of October 19, 2015, a COVERS is transfer updatesd only theto reflect the permanent transfer of the claims folder to a new location of the claims folder,. Previously, the jurisdiction of the pending issue in the Veterans Service Network (VETSNET) and the Veterans Benefits Management System (VBMS) willwere likewise automatically updated to reflect the new location.

3 If it is not possible to complete a pending appeal because additional action is needed, then

update the Veterans Appeals Control and Locator System (VACOLS) to reflect the new location of the appeals record, and

create a VACOLS diary controlling the next action to be completed.

4 Is there a request for a Department of Veterans Affairs (VA) examination pending?

If yes, review the Compensation and Pension Record Interchange (CAPRI) or Centralized Administration and Accounting Transaction System (CAATS) to check the status of the request, or call the facility point of contact.

If ... Then ...the exam has been conducted leave the examination

request pending, and go to Step 5.

the exam has not been conducted

notify the appropriate examining facility of the transfer request

cancel the examination request in CAPRI or CAATS

reverse file a copy of the cancelled examination request in the center of the claims folder to alert the receiving regional office (RO) of the examination needed, and

go to Step 5.

If no, go to Step 5.5 Does a review of the claims folder reveal the Veteran has been

rated incompetent for VA purposes?

If yes, is the reason for transfer due to a change in the Veteran’s address?- If yes, notify the Fiduciary hub having jurisdiction of the claim,

then go to Step 6, or- If no, go to Step 6.

If no, go to Step 6.

Note: Fiduciary Hubs can be notified via the following e-mail addresses: Columbia: VAVBACMS/RO/FIDHUB Salt Lake City: VAVBASLC/RO/FIDHUB Louisville: VAVBALOU/RO/FIDHUB Indianapolis: VAVBAIND/RO/FIBHUB Milwaukee: VAVBAMIW/RO/FIDHUB, and Lincoln: VAVBALIN/RO/FIDHUB.

Reference: For information on fiduciary hubs and their respective jurisdiction, see Fiduciary Hubs Referrals.

6 Is there a Counseling/Evaluation/Rehabilitation (CER) folder (38 U.S.C. Chapter 31) to be transferred out with the claims folder?

If yes- review the file for the existence of a running award- notify the Vocational Rehabilitation and Employment (VR&E)

division of the transfer, since award action may be necessary- obtain the CER folder for transfer with the paper claims folder,

and- go to Step 4 in M21-1, Part III, Subpart ii, 5.E.1.b.

If no, go to Step 4 in M21-1, Part III, Subpart ii, 5.E.1.b.

d. Handling Charge Cards Following Transfer-Out of Paper Claims Folders

When a permanent transfer-out of a claims folder is processed, the charge card should be annotated with

PTO (permanent transfer-out) the name and number of the RO receiving the folder, and the eligible month for disposal of the charge card.

Note: The eligible month for disposal is the fourth month following the date of the permanent transfer.

2. General Policies for Permanent Transfer-In of Paper Claims Folders

Introduction This section contains general policy information on the permanent transfer-in of paper claims folders, including

requesting permanent transfer-in of paper claims folders cancellation of erroneous permanent transfer-in requests for paper claims

folders, and using COVERS and VBMS for the permanent transfer of paper claims

folders.

Change Date June 23, 2015November 10, 2015

a. Requesting Permanent Transfer-In of Paper Claims Folders

Requests for the permanent transfer-in of paper claims folders can be made to

other ROs the Records Management Center (RMC), or Federal Records Centers (FRCs).

Important: Paper claims folders must not be transferred between ROs unless there is an authorized exception from scanning requirements. For more information regarding the guidance for sending paper claims folders to scanning facilities, to include exceptions, see M21-1, Part III, Subpart ii, 5.D.1.

Note: RMC will use the VBMS corporate flash as an indicator to ship the claims folder for scanning and ensure the claims folder is uploaded into the VBMS electronic claims folder (eFolder).

b. Cancellation of Erroneous Permanent Transfer-In Requests for Paper Claims Folders

Use care when requesting paper folders.

Cancellation of erroneous requests to other ROs must occur by telephone, e-mail, or through COVERS. Folders requested in error from the RMC or an FRC

cannot be returned, and must be retained by the RO.

c. Using COVERS and VBMS for the Permanent Transfer of

For permanent transfers of claims and notice of death (NOD) folders, see the COVERS User Guide.

Important: In addition to the actions taken in COVERS, the request must be

Paper Claims Folders

documented by creation of a “Physical Claims File Requested” tracked item in VBMS.

3. Transfer Requests for Paper Claims Folders From a Federal Records Center (FRC)

Introduction This section contains information on transfer requests for Veterans’ paper claims folders from an FRC, including

FRC locations procedure to recall folders from VA Record Center and Vault (RC&V) requesting transfer of paper claims folders from an FRC following up on requests from an FRC, and drop file mail for VA RC&V or an FRC.

Change Date June 23, 2015November 10, 2015

a. FRC Locations

The table below contains the locations of the FRCs and their corresponding codes.

The FRC station code is shown in the Beneficiary Identification Records Locator Subsystem (BIRLS) FOLDER LOCATION screen in Share.

Important: Users should use the table below to determine the current location to send the request to.

FRC Station Code

Location Transfer Date in BIRLS

Correct Current Location

010 Boston not applicable (N/A) 010 Boston011 Pittsfield N/A 011 Pittsfield020 Bayonne ALL 059 Lee's Summit021 Philadelphia 1954 - 1985 059 Lee's Summit030 Washington

National Records Center

1952 These records are no longer owned by VA.

To request a copy of a record at this location, contact

William Seibert(314) 801-0909william.siebert@nara.gov.

030 Washington National Records

Center

February - July 1955

030 Washington National Records

Center

1962 - 1978 060 Lenexa

040 Atlanta 1973 & Prior 060 Lenexa040 Atlanta 1974 - 1994 (from

ROs 317, 318, 322)011 Pittsfield

040 Atlanta 1974 - 1994 (from ROs 316, 319, 320,

323, 327)

060 Lenexa (exceptions noted in next two rows)

040 Atlanta 1986 from RO 316 011 Pittsfield040 Atlanta 1993 from RO 323 011 Pittsfield050 Chicago Prior to 1973 011 Pittsfield051 Dayton N/A 051 Dayton052 Kingsridge N/A 052 Kingsridge059 Lee’s Summit N/A 059 Lee’s Summit060 Lenexa (previously

Kansas City)Prior to 1973 011 Pittsfield

061 St. Louis National Personnel Records

Center (NPRC)

1956 - 1959 (from ROs 335, 339)

011 Pittsfield

061 St. Louis NPRC 1959 - 1966 (from RO 376)

011 Pittsfield

061 St. Louis NPRC 1960 - 1969 (from ROs 335, 339, 340,

341, 345, 442)

011 Pittsfield

061 St. Louis NPRC 1967 - 1973 (from RO 331)

011 Pittsfield

061 St. Louis NPRC 1970 - 1974 (from ROs 339, 340, 341, 345, 436, 437, 438,

442)

011 Pittsfield

070 Ft. Worth Prior to 1977 011 Pittsfield070 Ft. Worth 1977 - 1993 059 Lee's Summit080 Denver ALL 059 Lee's Summit090 San Francisco/San

BrunoN/A 090 San Francisco/San Bruno

091 Laguna Niguel (previously Perris)

Prior to 1967 011 Pittsfield

091 Laguna Niguel 1968 - 1992 059 Lee’s Summit100 Seattle N/A 100 Seattle

Note: FRCs 020, 070, and 080 are no longer active repositories.

Reference: For more information about FRCs, see Federal Records Center Locations.

b. Procedure to Recall Folders from VA RC&V

An RO’s appointed key user may electronically recall folders retired to VA Records Center and Vault (RC&V) using the following procedure:

Step Action1 Log in to the VA RC&V Records Retrieval System (RRS)

2 Enter the following information on the electronic VA Form 0245, VA Records Center & Vault Reference Request

Veteran’s last name and first name last four digits of the claim number accession number (listed on BIRLS FOLDER LOCATION

screen), and box number (listed on BIRLS FOLDER LOCATION screen).

3 Create a “Physical Claims File Requested” tracked item in VBMS.

Note: First time key users must register and create a new account. The key user will receive an email from VA RC&V when the account is activated.

References: For information on VA RC&V, see the VA RC&V website, and VA RC&V RRS, see the VA RC&V Electronic RRS User Guide.

c. Requesting Transfer of Paper Claims Folders from an FRC

Requests for transfer of a paper claims folder from an FRC areis submitted through the National Archives and Records Administration’s (NARA)’s) Archives and Records Centers Information System (ARCIS).

Use Share to obtain the FRC accession data from the BIRLS FOLDER LOCATION tab, and

Llog into ARCIS and initiate a request for the claims folder., and create a “Physical Claims File Requested” tracked item in VBMS.

Note: The FRC usually returns the folder to the requesting RO within 10 business days.

Reference: For information on how to use ARCIS, to include log-in and passwords, see the ARCIS website.

d. Following up on Requests From an FRC

If the folder is not received within 10 business days of the original request, process a follow-up request to the FRC via ARCIS, by sending an e-mail, or by calling the FRC.

Important: Remember to update the “Physical Claims File Requested” tracked item in VBMS to reflect the follow-up.

Reference: For contact information, see Federal Records Center Locations.

e. Drop File Mail for VA RC&V or an

For drop file mail received for a claims folder in the jurisdiction of either the VA RC&V or an FRC, use the centralized mail (CM) portal to upload the document(s) to the claimant’s eFolder.

FRCNote: All material will be combined into the eFolder upon recall of the file from RC&V or FRC.

Reference: For more information on the CM portal, see M21-1, Part III, Subpart ii, 1.E.1.

4. Receipt of Requested Paper Claims Folders

Introduction This section contains information on the receipt of requested folders, including

receipt of paper claims folders from RMC or an FRC identifying paper claims folders requested from other ROs receiving paper claims folders, and charge cards and pending mail for paper claims folders.

Change Date June 23, 2015November 10, 2015

a. Receipt of Paper Claims Folders from RMC or FRC

The receipt of folders from the RMC or FRCs should result from a specific request from the RO.

Folders received from other ROs, however, may

have been requested, or be the result of an unsolicited request.

b. Identifying Paper Claims Folders Requested from Other ROs

Claims folders requested from other ROs have a COVERS transfer slip stapled to the front of the folder.

c. Receiving Paper Claims Folders

To process receipt of paper claims folders,

follow the steps in the COVERS User Guide., and close the “Physical Claims File Requested” tracked item in VBMS.

d. Charge Cards and Pending Mail for Paper Claims Folders

If the reason for transfer is transfer request, pending mail should exist.

Use the table below to handle pending mail.

If a charge card … Then …was prepared at the time the paper claims folder was requested

attach the mail to the folder, and update COVERS.

is prepared on receipt of the paper claims folder

attach the mail to the folder update COVERS, and annotate the charge card to show the individual

or element where the folder is sent.

5. Unsolicited Transfers of Paper Claims Folders and Dual Benefit Cases

Introduction This topic contains information on unsolicited transfers and dual benefit cases, including

review of unsolicited transfers of paper claims folders handling improper transfers of paper claims folders, and handling dual benefit paper claims folders.

Change Date September 2, 2010

a. Review of Unsolicited Transfers of Paper Claims Folders

Review all unsolicited transfers of paper claims folders to ensure the reason for transfer is valid.

b. Handling Improper Transfers of Paper Claims Folders

If a transfer is improper because the reason for transfer was not valid, then

return the claims folder to the transferring RO, and show the reason for transfer as Improper transfer, jurisdiction refused, and include a brief explanation of the reason the transfer was improper.

c. Handling Dual Benefit Paper Claims Folders

If a beneficiary receives benefits involving two claims folders, then

keep the folders together, and do not transfer one folder without the other.